CONDUCTOR CERTIFICATION REGULATION PART 49 CFR 242 FRARRS

CONDUCTOR CERTIFICATION REGULATION PART 49 CFR 242 FRA_RRS_ OP_2012

Railroad Safety Act of 2008 (49 U. S. C. 20163) Congress required the Secretary of DOT to prescribe regulations to establish a program requiring the certification of railroad train conductors. This authority was delegated to the Federal Railroad Administrator (FRA). Conductor Certification- May 2012 2

Statutory Requirements • • • Require FRA to develop and enact regulations requiring certification and training of conductors. Require railroads contractors and subcontractors to develop and submit training and qualification programs to FRA. Require 49 CFR 240 (Engineers) as the model for new regulation 49 CFR 242 (Conductors). Conductor Certification- May 2012 3

Open Issue Update, align and revise 49 CFR 240 Locomotive Engineer Certification Regulations to better conform with the requirements of new Conductor Certification Regulations. Conductor Certification- May 2012 4

Regulatory - Highlights - Effective Date: January 1, 2012 Conductor Certification- May 2012 5

Applicability The “litmus test” for applicability is whether the railroad currently has a Qualification and Certification of Locomotive Engineers Program pursuant with § 240. Conductor Certification- May 2012 6

Key Implementation Dates January 1, 2012 - ALL railroads take a “snap-shot” and determine those individuals they will authorize to perform the duties of conductor. (grandfathering) September 1, 2012 - ALL railroads initially issue certificates to all grandfathered conductors. Conductor Certification- May 2012 7

September 30, 2012 - Deadline for Class I, Class II and Commuter Railroads submit programs to FRA. December 1, 2012 - Full implementation for Class I, Class II and Commuter RRs. January 31, 2013 - Class III Railroads submit programs to FRA. April 1, 2013 - Full implementation date for Class III RRs. Conductor Certification- May 2012 8

Definitions Conductor Certification- May 2012 9

“Person- means an entity of any type covered under 1 U. S. C. 1, including but not limited to the following: a railroad; a manager, supervisor, official, or other employee or agent of a railroad; any owner, manufacturer, lessor, or lessee of railroad equipment, track, or facilities; any independent contractor providing goods or services to a railroad; “ Conductor Certification- May 2012 10

Ø Ø Conductor- the crewmember in charge of a train or yard crew as defined in Part 218. Passenger Conductor- is a conductor who has also received emergency preparedness training under Part 239. One conductor per train or yard crew The definition does not cover subordinate certified crewmembers: Ø Ø Trainmen Brakemen Yard Helpers Assistant Conductors Conductor Certification- May 2012 11

What’s a Crew? Train or yard crew (defined in part 218): “One or more railroad employees assigned a controlling locomotive, under the charge and control of one crew member; ü called to perform service covered by Section of the Hours of Service Act; ü involved with the train or yard movement of railroad rolling equipment they are to work with as an operating crew; üreporting and working together as a unit that remains in close contact if more than one employee; üand subject to the railroad operating rules and program of operational tests and inspections… Conductor Certification- May 2012 12

Ø Physical characteristics- the actual track profile of and physical location for points within a specific yard or route that affect the movement of a locomotive or train. Includes both main track physical characteristics and other than main track physical characteristics. Aid- information regarding other than main track physical characteristics that supplements the operating instructions of the territory over which the locomotive or train movement will occur. Ø Job A job aid may consist of training on the territory, maps, charts or visual aids of the territory, or a person or persons to contact who are qualified on the territory and who can describe the physical characteristics of the territory. Conductor Certification- Feb. 2012 13

Ø Qualified- a person who has successfully completed all instruction, training and examination programs required by the employer, the applicable parts of this chapter and that the person therefore may reasonably be expected to be proficient on all safety related tasks the person is assigned to perform. Ø Territorial qualifications- possessing the necessary knowledge concerning a railroad's operating rules and timetable special instructions including familiarity with applicable main track and other than main track physical characteristics of the territory which the locomotive or train movement will occur. Conductor Certification- May 2012 14

Ø Qualified instructor- a person who has demonstrated, pursuant to the railroad’s written program, adequate knowledge of the subjects under instruction and has the necessary operating experience to effectively instruct in the field, and has the following qualifications: Is a certified conductor under this part; and 2. Has been selected as such by a designated railroad officer, in concurrence with the designated employee representative, where present; or 3. In absence of concurrence provided in paragraph (2) of this definition, has a minimum of 12 months service working as a train service employee. 1. Conductor Certification- May 2012 15

OJT and Qualified Instructors are required during OJT phase to instruct persons and evaluate proficiency. However OJT on-site training is not exclusive to only Qualified Instructors. 242. 119(e)(2) states: “…. a person may perform such tasks under the direct onsite supervision of a person, who has the necessary operating experience, as part of the on-the-job training process prior to completing such training and passing the field evaluation. ” Conductor Certification- May 2012 16

Questions? 17

Subpart B Ø Program and Eligibility Requirements • Certification program is required and individual railroad programs must be approved by FRA. • Determinations requirements: ü Prior safety conduct as motor vehicle operator. (DWI/ Test Refusal) ü Prior railroad safety conduct. ü Substance abuse disorders and alcohol/drug rule compliance. ü Vision and hearing acuity. • • • Training and testing of knowledge. Monitoring operational performance. Joint operations determinations. Conductor Certification- May 2012 18

Submissions Deadlines Ø Ø September 30, 2012 for Class 1, Class 2, Amtrak and Commuter Railroads. January 31, 2013 for Class 3 Railroads Programs can be filed anytime after effective date of January 1, 2012. Program approved by FRA 30 days. Conductor Certification- May 2012 19

Electronic Submissions Prior to submitting a program electronically, the person shall provide the Associate Administrator for Railroad Safety/Chief Safety Officer FRA with the following information in writing: • • • The name of the railroad or holding company; The railroad’s system or main headquarters address located in the United States; The names and job titles of two railroad contacts; The mailing addresses for the points of contact; The email addresses for the points of contact; The telephone numbers for the contacts. Conductor Certification- May 2012 20

The Submission Appendix B provides guidance pertaining to content and organization of each submission: Section 1 - General Information and Elections Section 2 - Training Persons Previously Certified Section 3 - Testing and Evaluation Section 4 - Training, Testing, and Evaluating Persons Not Previously Certified Section 5 - Monitoring Operational Performance Section 6 - Procedures for Routine Administration of the Conductor Certification Program Conductor Certification- Feb. 2012 21

No railroad can test, instruct, train, evaluate or decertify conductors under this Part until they have an approved § 242 program. 36 month cycles for recertification will begin on the applicable full implementation date for that class railroad. Conductor Certification- May 2012 22

Grandfathering The railroad will identify persons authorized to perform conductor duties as of January 1, 2012: Current Conductors and Others may be Grandfathered. Ø Ø Conductor Certificate required September 1, 2012. Regulatory Grandfathering ends December 1, 2012 for Class 1, Class 2 Railroads and Commuter Railroad and on April 1, 2013 for Class 3 Railroads. If retiring within 36 months of the applicable full implementation date, the employee may request to not be required to recertify. Other employees – required to recertify based on the railroad’s schedule. Conductor Certification- May 2012 23

Grandfathered conductors retiring prior to December 1, 2015 (Class I, Class II and Commuter) or April 1, 2016 (Class III) can request exclusion from the triennial recertification process only. This does not exclude any individual from the annual training and testing requirements of § 242. Conductor Certification- Feb. 2012 24

Between January 1, 2012 and the Full Implementation dates, those individuals qualifying as conductors may be promoted based on the railroad’s existing training and testing programs. (Not Grandfathering). As soon as practicable, FRA expects railroad with approved § 242 programs to implement the program. (Start-up) Conductor Certification- May 2012 25

Questions? 26

Subpart C Administration of the Certification Program Ø Time limitations for certification. (36 Months) Retaining information supporting determinations. Identification of certified persons and record keeping. Certificate components and maintenance of the certificate. Replacement of certificates. Multiple certifications; Engineer and conductor Ø Railroad oversight responsibilities. Ø Ø Ø certificates can be conjoined into one “combined” or “compound” certificate. Conductor Certification- May 2012 27

Time Limitations for Certification Ø Ø Ø All required data for certification eligibility furnished no more than 366 days prior to decision to certify. Hearing acuity and medical examination conducted no more than 450 days prior to decision to certify. Determination of knowledge and knowledge examination conducted not more than 366 days prior, and not more than 24 months for railroads that administer knowledge testing on a 24 month basis*. *Does not apply to a railroad making a certification decision based on determination of another railroad; however, no railroad shall rely on a certification issued by another railroad that is more than 36 months old. Conductor Certification- Feb. 2012 28

Identification of Certified Persons: Ø Ø Ø Identify each person designated as certified conductor, including type of service, and date of certification. Joint operations – employing railroad shall include the territorial qualifications of persons certified. Updated at least annually. Be maintained at the divisional or regional headquarters of the railroad. Be available to the FRA for inspection or copying during normal business hours. Conductor Certification- May 2012 29

Certificate Components Ø Ø Ø Ø Identify the railroad or parent company issuing it. Identify the person it is issued to, including name, employee identification number, a physical description or photograph of person and year of birth. Identify any conditions or limitations, including type of service, or vision or hearing acuity deficiencies. Show effective date of each type of certification held. Signed by designated person issuing the certificate, as authorized by the railroad or parent company. Small size to fit wallet. Additional information (above required information) is not prohibited on the certificate. Conductor Certification- May 2012 30

Certificate Maintenance and Responsibility Ø Ø Ø Each conductor issued must have certificate in their possession while on duty as a conductor. Display certificate upon request from FRA representative or State Inspector authorized under 49 CFR 212, an officer of the issuing railroad, or officer of another railroad during joint operations. Any conductor called for service that will exceed certificate limitations shall immediately notify the railroad, and it shall be unlawful for the railroad to require such service. Conductor Certification- May 2012 31

Retaining Information Supporting Determinations All relevant data collected including a person’s prior safety conduct, motor vehicle driving record, data furnished by another railroad, data furnished by a the person seeking certification, hearing and vision acuity test results, and all other records required must be retained for a period six (6) years from the date of certification, recertification, denial, or revocation decision, and made available to FRA upon request during normal business hours. Conductor Certification- Feb. 2012 32

Electronic Recordkeeping: Ø Ø Ø No record can be deleted or altered, and amendment(s) to record are stored separate or attached to the record it amends, without changing the original record. Each record amendment identifies the person making the amendment. The system permits reasonable access to the FRA, and can be provided in printed format and authenticated as a true and accurate copy of the railroad’s records, if requested by the FRA. Conductor Certification- May 2012 33

Electronic Recordkeeping: Ø Ø Ø The program must be secured to protect data storage integrity, including prevention of unauthorized access. Security system requires employee identification number and password for program access. No two individuals have the same identity. Conductor Certification- May 2012 34

No Railroad Shall: Ø Ø Permit or require a person to perform service as a certified conductor for more than 36 months, unless the person has been determined eligible, in accordance with requirements for certification eligibility. Certify for more than 36 months. Rely on a certification issued by another railroad that is more than 36 months old. With exception of initial implementation, certificates will be issued no later than 30 days from date of certification. Conductor Certification- May 2012 35

It Shall Be Unlawful To: Ø Ø Make false entry on records. Falsify records through misstatement, omission, or mutilation. Require conductor to provide service that will exceed certificate limitations. Certify for more than 36 months. Conductor Certification- May 2012 36

Replacement of Certificates A railroad shall: Ø Ø Have a system for prompt replacement of lost, stolen or mutilated certificates, at no cost to conductors. Reasonably accessible to certified conductors in need of replacement or temporary replacement certificate. A temporary replacement certificate must identify the person being issued, date of issuance, and authorized by designated supervisor. Temporary certificates may be delivered electronically and will be valid for a period no greater than 30 days. Conductor Certification- May 2012 37

Railroad Oversight Similar to § 240. 309, the § 242. 215 applies only to Class 1 Railroad- (including the National Railroad Passenger Corporation and a railroad providing commuter service) and each Class II railroad. A 242 Program Annual Review and Analysis must be compiled each year no later than March 31 each year commencing in 2014 based on previous year results. If requested in writing by FRA, the railroad shall provide a report of the findings and conclusions of their annual review and analysis effort. Conductor Certification- May 2012 38

Review and Analysis shall involve: 1. 2. 3. 4. The number and nature of § 242. 403 (e) incidents and include the remedial action taken in response. The number and nature of FRA reported train accidents attributed to § 242. 403 (e) incidents by conductors. The number and type of operational monitoring test failures recorded by the railroad in application of § 242. 123. The number of § 242. 403 (e) incidents involving in tenant railroad conductors in joint operations. Conductor Certification- May 2012 39

Questions? 40

Part 242—Qualification and Certification of Conductors – Subpart D Ø Territorial Qualification and Joint Operations The employing railroad shall not permit or require a person to serve as a conductor unless the railroad determines the person is certified as a conductor and possesses the necessary main track physical characteristic qualifications for the territory over which they will be serving as a conductor. Conductor Certification- May 2012 41

Individual’s Responsibility Ø • • Each person who is called to serve as a conductor shall: Meet the territorial qualification requirements on the segment of main track upon which he or she will serve as a conductor. Immediately notify the railroad upon which he or she is employed if he or she does not meet the required territorial qualifications. Conductor Certification- May 2012 42

Assistants and Job Aids If a conductor lacks qualification on main track physical characteristics: Ø For a conductor never qualified on main track physical characteristics of the territory over which he or she is to serve as a conductor, the assistant shall be a person who is certified as a conductor and meets the territorial qualification requirements for main track physical characteristics, and is not an assigned crew member. Conductor Certification- May 2012 43

Territorial Familiarity Recognizing that territories differ in complexity, railroads will be given discretion determining how often a conductor must pass over a territory to be considered to have a ‘‘regularly traversed’’ familiarity of a territory. Railroads programs (Section 2) must state; 1. HOW LONG a conductor must be absent from a territory before their qualification on the physical characteristics of the territory expires, and; 2. The NUMBER of times a person must pass over a territory per year to be considered to have ‘‘regularly traversed’’ a territory for purposes of assistant requirements under § 242. 301(c). 242. 301(c Conductor Certification- May 2012 44

Assistance- Expired Qualifications Ø Familiar: For a previously qualified conductor whose qualification has expired for less than 1 year, the assistant may be any person, including an assigned crewmember so long as serving as the assistant would not conflict with that crewmember’s other safety sensitive duties, who meets the territorial qualification requirements for main track physical characteristics. Conductor Certification- May 2012 45

Assistance- Expired Qualifications Ø Not Familiar: For a previously qualified conductor whose qualification has expired for less than 1 year, the assistant may be any person, including an assigned crewmember excluding the assigned locomotive engineer, so long as serving as the assistant would not conflict with that crewmember’s other safety sensitive duties, who meets the territorial qualification requirements for main track physical characteristics. Conductor Certification- May 2012 46

Assistance and Job Aids If a conductor lacks territorial qualification on other than main track physical characteristics, where practicable, he or she shall be assisted by a person who is a certified conductor and meets the territorial qualification requirements for other than main track physical characteristics. When not practicable, the conductor will be provided an appropriate up-to-date job aid. Conductor Certification- May 2012 47

Lone Engineers (1 employee crew) Except for specified emergencies (medical, police, natural disaster ) a lone engineer must: Ø Ø Be certified as both locomotive engineer and conductor, or Accompanied by a certified conductor, who attaches to the lone engineer. Regulation is Crew Consist Neutral Conductor Certification- May 2012 48

Questions? 49

Part 242—Qualification and Certification of Conductors – Subpart E Ø Denial and Revocation of Certification Denial of certification. • Criteria for revoking certification. • Periods of revocation. • Process for revoking certification. • Conductor Certification- Feb. 2012 50

Prohibited Acts Conductor Certification- May 2012 51

Stop Signals When the conductor is located in the operating cab, or otherwise has knowledge of the signal indication, failure to take appropriate action* to prevent the locomotive engineer of the train the conductor is assigned to from failing to control a locomotive or train in accordance with a signal indication that requires a complete stop before passing it, excluding a hand or a radio signal indication or a switch. *Appropriate action does not mean that a conductor must prevent a violation from occurring at all costs; the duty may be met by warning an engineer of a potential or foreseeable violation. Conductor Certification- May 2012 52

Train Speed When the conductor is located in the operating cab, failure to take appropriate action to prevent the locomotive engineer of the train the conductor is assigned to from failing to adhere to limitations concerning train speed: • • the speed at which the train was operated exceeds the maximum authorized limit by at least 10 miles per hour. Where restricted speed is in effect, railroads shall consider only those violations of the conditional clause of restricted speed rules that result in a § 225 reportable incident/ accident or injury. When not in the operating cab, the conductor is deemed to have taken appropriate action when in compliance with all applicable Railroad Operating Rules and Special Instructions. Conductor Certification- May 2012 53

Brake Tests Failure to perform or have knowledge a required brake test was performed. Ø Ø Freight- Class 1, Class 1 A, Class 2, Class 3, Transfer Train Brake Test. Passenger- Class 1, Class 1 A, Class 2 and Running Brake Test. Conductor Certification- Feb. 2012 54

Occupying a Segment of Main Track Failure to take appropriate action to prevent the locomotive engineer of the train the conductor is assigned to from occupying main track or a segment of main track without proper authority or permission. Conductor Certification- May 2012 55

Drug and Alcohol Use of alcohol and/or drugs contrary to Federal Regulations. (Rule G) Conductor Certification- Feb. 2012 56

Tampering Failure to comply with prohibitions against tampering with locomotive mounted safety devices; Ø Ø knowingly fail to take appropriate action to prevent the locomotive engineer from failing to comply with prohibitions against tampering with locomotive mounted safety devices; knowingly fail to take appropriate action to prevent the locomotive engineer of the train from operating or permitting to be operated a train with an unauthorized disabled safety device in the controlling locomotive. Conductor Certification- May 2012 57

Periods of Revocation • • 1 st 2 nd 3 rd 4 th event = 30 days event within 24 months = 6 months event within 36 months = 1 years event within 36 months = 3 years Any period of revocation one-year or less may be reduced by half with remedial training. Conductor Certification- Feb. 2012 58

218 Subpart F Prohibited Acts • • • 218. 99218. 101218. 103218. 105218. 107218. 109 - Shoving or pushing movements. Leaving equipment in the clear. Hand operated switches. Hand operated main line switches. * Hand operated crossover switches. Hand operated fixed derails. § 225 Reportable Threshold *Note: On hand operated main line switches there is no reduction in period of ineligibility. Conductor Certification- May 2012 59

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Periods of Revocation- 218 Subpart F On other than main track where restricted speed or the operational equivalent thereof is in effect, the period of revocation for a violation of § 242. 403(e)(6) through (e)(8), (e)(10), or (e)(11) • • • 242. 403 (e)(6) Shoving or pushing movements. 242. 403 (e)(7) Leaving equipment in the clear. 242. 403 (e)(8) Hand operated switches. 242. 403 (e)(10) Hand operated crossover switches. 242. 403 (e)(11) Hand operated fixed derails. shall be reduced by one half provided that another revocable event has not occurred within the previous 12 months. Conductor Certification- May 2012 61

Criteria for Reducing Periods of Ineligibility 1. The denial or revocation of certification is for a period of one year or less; 2. Certification is denied or revoked for reasons other than noncompliance with drug and alcohol. 3. The person is evaluated by a railroad officer and determined to have received adequate remedial training; 4. The person successfully completes any mandatory program of training or retraining prior to return to service; 5. At least one half the specified period of ineligibility has elapsed. Conductor Certification- Feb. 2012 62

Part 242—Qualification and Certification of Conductors – Subparts F Ø Dispute Resolution Procedures • • • Operating Crew Review Board established. Petition requirements. Processing certification review petitions. Request for a hearing. Hearings. Appeals. Operating Crew Review Board (OCRB) replaces LERB Conductor Certification- May 2012 63

Appendix E Conductor Certification- May 2012 64

Counting Beans FRA Predicts: 950 Conductor Certificate Revocations annually. 160 OCRB Petitions annually. Conductor Certification- May 2012 65

Questions? 66